Senior Compliance Opportunity

Senior Compliance Opportunity at Taylor Root Senior Compliance Opportunity at Taylor Root in Everett, Massachusetts Posted in 28 minutes ago.

Type:

full-time

Job Description:

We are partnering with a well-established investment firm to identify a Senior Compliance professional (and Counsel) for a newly created role. This position reports to the CCO and is designed for someone who can embed within the business as a true compliance generalist, working closely with investment, client-facing, and operational teams. Key Responsibilities Support key components of the firm's compliance program Conduct compliance testing, monitoring, and annual reviews Administer core policies, including code of ethics and personal trading Review and approve marketing and investor communications Partner with internal stakeholders to integrate compliance into business workflows Assist with regulatory filings (e.g., ADV, PF, or similar) and exam readiness Monitor regulatory developments impacting investment advisers Contribute to policy development and program enhancements Support third-party/vendor oversight and data protection processes Act as a day-to-day compliance partner to the business Qualifications 4+ years of compliance or legal experience within buy-side financial services Experience with private funds or alternative investments preferred JD strongly preferred, though not required. Candidates from law firms will also be considered. Open to candidates from law firms or in-house compliance roles Familiarity with marketing review, compliance testing, and core policies Strong business-oriented mindset with practical judgment